Supplement 3 to EA-1/17 Rules of Procedures EA Procedure ... · 1.1.3 This procedure shall be publicly available on the EA website and provided on request to enquirers by the EA Secretariat

EA-1/17 S3 � EA Procedure for the investigation and resolution of Complaints and Appeals

April 2018_Rev04 Page 1 of 14

Publication Reference

Supplement 3 to EA -1/17 Rules of Procedures

EA Procedure

For the investigation and Resolution of Complaints and

Appeals

PURPOSE This document has been produced by EA and describes the procedure for the investigation and Resolution of Complaints and Appeals.

EA-1/17 S3 A: 2018



Authorship The publication has been prepared by the EA Executive Committee Official language

The text may be translated into other languages as required. The English language version remains the definitive version. Copyright

The copyright of this text is held by EA. The text may not be copied for resale. Further information

For further information about this publication, contact your national member of EA or the EA secretariat: [email protected] Please check our website for up-to-date information http://www.european-accreditation.org/ Category: EA Governance and Policy document Date of approval: April 23rd 2018 Date of implementation: Immediate Transitional period: None



CONTENTS

1 PREAMBLE ................................................................................................................. 4

1.1 General ........................................... ............................................................................ 4

1.2 Definitions ....................................... ........................................................................... 4

2 COMPLAINTS SUBMITTED TO EA ............................................................................ 5

2.1 EA Responsibility for Complaints .................. ........................................................... 5

2.2 Complaint Processing .............................. ................................................................. 6

2.3 Complaint Investigation Process ................... ........................................................... 6

2.4 Further petition by Complainant ................... ............................................................ 8

2.5 Timing of Complaints Process ...................... ............................................................ 8

3 APPEALS .................................................................................................................... 9

3.1 Responsibility for Appeals ........................ ................................................................ 9

3.2 Appeal Process .................................... ...................................................................... 9

3.3 Timing of Appeal Process .......................... ............................................................. 11

4 EA COMPLAINTS ..................................................................................................... 11

4.1 Process ........................................... .......................................................................... 11

4.2 Further petition by the EA member ................. ....................................................... 13

4.3 Timing of Complaints Process ...................... .......................................................... 13

5 CONFIDENTIALITY AND CONFLICTS OF INTEREST ............................................. 14

6 INFORMATION FOR PEER EVALUATORS ............................................................. 14



1 PREAMBLE 1.1 General 1.1.1 This procedure describes the responsibilities and actions of EA Committees, EA

Multilateral Agreement Council (EA-MAC), the EA Secretariat, the EA Advisory Board (EAAB), and EA Members in relation to the investigation and resolution of complaints and appeals.

1.1.2 Complaints and appeals received may concern decisions and activities of EA or EA

Members, or conformity assessment bodies accredited by EA members. 1.1.3 This procedure shall be publicly available on the EA website and provided on request to

enquirers by the EA Secretariat. 1.1.4 EA considers all complaints and appeals as a possible opportunity to improve its

services and implement corrective and preventive action measures. EA is committed to monitoring and achieving continual improvement in all areas of its activities.

1.2 Definitions

The terms and definitions used in this procedure are based on ISO/IEC 17011:2017 and ISO/IEC 17000:2004, except as noted below.

1.2.1 Complaint Expression of dissatisfaction, other than appeal, by any person or organization to EA, relating to the activities of EA, EA Members, or conformity assessment bodies accredited by EA Members, where a response is expected. Note: It includes expression of dissatisfaction by EA relating to the activities of EA

members.

1.2.2 Appeal Request by an accreditation body for reconsideration of any decision made by EA related to its membership (or Contract of Cooperation (CoC)) status in EA, or a request for reconsideration of any adverse decision made by the EA-MAC related to its future or present MLA signatory (or bilateral) status, or a request by an EA Member for reconsideration of decisions taken by the EA General Assembly or EA Executive Committee if the appellant considers such decisions have been taken in breach of the EA procedures and general ethics.

Note : Adverse decisions may include, but are not limited to:

Refusal to accept an application for membership Denial of membership Refusal to accept an application for evaluation Corrective action requests Changes in scope Decisions to deny, suspend, or withdraw signatory or membership status



Any other action that otherwise impedes the attainment of signatory status desired by an AB.

1.2.3 EA Member

EA membership is defined in Article 5 of the EA Articles of Association.

Note: National Accreditation Bodies that have signed an Agreement for Associate membership or a bilateral agreement (BLA) or Cooperation Agreement (COA) or Cooperation Agreement for Mutual Recognition (COAMR) with EA are considered, for the application of this procedure, as an EA Member, except where they are a member of another regional cooperation of accreditation bodies. In such cases, the complainant should be referred to the other regional cooperation of accreditation bodies, unless the complaint is specifically related to the NAB’s activities covered by the MLA/BLA or COA/COAMR only.

1.2.4 Appeal Review Panel

An Appeal Review Panel (ARP) shall consist of a Convenor and two members nominated by the EA Executive Committee. ARP members shall be the senior management of EA Members and will include at least one member nominated, in consultation with the Chair of the EAAB, from the EAAB.

2 COMPLAINTS SUBMITTED TO EA 2.1 EA Responsibility for Complaints 2.1.1 Complaints submitted to EA shall be limited to concerns or issues regarding EA, EA

Members and/or their accredited bodies, including accreditation process, with respect to compliance with the requirements of EA documents, EA Members documents, the relevant standards and the requirements in the European Regulation No 765/2008 applicable to accreditation bodies, taking into account the guidances given in relevant EA, ILAC, IAF and/or other applicable EU/EFTA documents.

2.1.2 If a complaint is made about the activities of an EA Member, whether by a third party,

an accredited body or another EA Member, the immediate role of EA in relation to the issue is an indirect one of ensuring that the EA Member complained about has itself first had the opportunity to resolve the particular matter through its own complaints/appeal handling procedure and through direct discussions with the complainant.

2.1.3 Complaints submitted regarding a specific accredited body must be referred to the

relevant accreditation body (or bodies) for resolution through the accreditation body’s own complaints handling procedure and/or the accredited body’s complaints handling procedure, as appropriate.

2.1.4 It is the responsibility of the complainant to provide in English relevant documentation to

EA to demonstrate that the complaint has already been submitted for investigation through the EA Member’s own complaint/appeal handling procedure.

2.1.5 If the EA Member has not been able to make satisfactory progress in the resolution of a

complaint within a reasonable length of time, the complainant has the right to refer the



matter to EA for resolution using this procedure. The EA Member should keep the complainant informed of progress being made in dealing with the complaint.

2.1.6 Regardless of the outcome of any complaint, the complainant and EA will each meet its

own costs. 2.2 Complaint Processing 2.2.1 All complaints must be addressed in writing in English to the EA Secretariat. The EA

Secretariat shall within 10 working days acknowledge to the complainant (in writing):

Receipt and subject of the complaint, or, Rejection of the complaint (with written justification) if it is not, or has not been dealt with, in accordance with the requirements stipulated in this document.

Note : The complainant shall identify itself properly. Anonymous complaints are not

processed. 2.2.2 The Executive Secretary or her/his delegate is responsible for the processing of

complaints submitted to EA. 2.2.3 The EA Secretariat shall provide the complainant with details of this EA Complaints and

Appeals Procedure, ensure that the substance of the complaint is clearly understood and documented, and that all relevant claims or statements made by the complainant or other interested parties can be properly authenticated in writing when relevant and appropriate. Such authentication and provision of information is usually essential before the complaint can be considered as a formal complaint and any investigation initiated.

Note: Authentication means that all information can be verified as accurate and correct

through an independent source, other than the complainant. It is the responsibility of the complainant to submit information that can be authenticated.

2.2.4 The Executive Secretary or her/his delegate can at his/her discretion authenticate any

or all information, as he/she deems appropriate, at any time during the investigation process. If additional information is needed during this investigation, it is the responsibility of the designated investigator(s) to obtain such information.

2.3 Complaint Investigation Process 2.3.1 Complaints against an EA Member or an accredi ted Conformity Assessment

Body 2.3.1.1 Upon receipt of a complaint, if the complaint relates to the activity of an EA Member or

an accredited Conformity Assessment Body, the EA Secretariat shall formally bring the issue of the complaint and any relevant facts to the notice of the EA Member (even where these have already been made known to the EA Member by the complainant), and ask the member to provide within 30 days, a report as to how the subject of the complaint has been dealt with and the outcome.



2.3.1.2 If it is found that it has not been possible to resolve the matter satisfactorily, or a report is not received from the EA Member, or the matter relates to EA itself, the Executive Secretary or her/his delegate may, in conjunction with the EA Executive Committee, assign an ad-hoc Task Force Group (TFG), comprising one or more investigators, to investigate the complaint. One of the investigators shall be nominated as the TFG convenor. If possible, at least one of the investigators should understand the complainant’s mother language.

2.3.1.3 The EA Secretariat or the TFG (if established) shall proceed with a thorough

investigation of the complaint, not limited only to procedural aspects, and seek a resolution of the issue(s) involved. It is the responsibility of the EA Secretariat or the TFG to ensure that the investigation is performed in a timely manner. Direct communication between the EA Secretariat or the TFG, the Complainant, the involved EA Member and any other relevant body shall be made, whenever possible and needed during the investigation process. It is the responsibility of all involved parties to provide information that can be authenticated.

2.3.1.4 The designated TFG (if established) shall keep the EA Secretariat informed of progress

being made in dealing with the complaint. 2.3.1.5 After the issue has been investigated, the EA Secretariat or the TFG Convenor shall

prepare a written report (summary) on the complaint, including a statement indicating whether the complaint has been found to have been substantiated or not, and the closure of the complaint, to the EA Secretariat.

2.3.1.6 The Executive Secretary or her/his delegate, shall decide if the report is likely to be

satisfactory in terms of resolving the matter. The Executive Secretary or her/his delegate, may request any amendment to the report or recommendation considered necessary. The final outcome shall include a recommendation on any action to be taken in relation to the complaint (if relevant). If grounds have been found for the Executive Secretary or her/his delegate to consider taking remedial action, the report shall recommend the specific action to be taken and a time limit for its implementation, which have to be approved by the Executive Committee.

2.3.1.7 The EA Secretariat shall notify the complainant, with copy to the involved EA member

(if any, of the final outcome of the complaint investigation, consistent with valid confidentiality requirements.

2.3.1.8 The EA Secretariat shall maintain detailed and complete records of the receipt,

handling and outcome of every complaint. The Secretariat shall submit a summary of all complaints handled since the previous meetings to each meeting of the EA Executive Committee and of the EAAB.

2.3.1.9 The Executive Secretary or her/his delegate shall report on complaints at each meeting

of the EA General Assembly. 2.3.2 Complaints against EA’s activities 2.3.2.1 All complaints must be submitted in writing to the EA Secretariat.



2.3.2.2 The EA Secretariat shall within 10 working days acknowledge to the complainant in

writing the receipt of the complaint. 2.3.2.3 For matters where the Executive Secretary or her/his delegate may not be impartial, the

EA Chair or an impartial member of the Executive Committee will be in charge of processing the complaint.

2.3.2.4 The process shall follow 2.3.1.2 – 2.3.1.9 accordingly. 2.4 Further petition by Complainant 2.4.1 A complainant may submit a petition against the outcome of a complaint investigation to

the EA Secretariat, within 30 days of receiving the final outcome on the complaint. 2.4.2 A petition will be accepted by the EA Secretariat, if the complainant may provide new

information or may have good reasons to challenge that the investigation was not performed in compliance with the EA complaints procedure.

2.4.3 A petition to a final outcome shall be heard by the EA Executive Committee and shall

be conducted to ensure that the investigation was performed in full conformance with this complaints procedure.

2.4.4 The EA Executive Committee may request the EA Secretariat or the TFG or the

relevant EA Committee/Council Chair to reopen or reconsider any aspect of the investigation, with a maximum period for resolution of 30 days.

2.4.5 The decision made by the EA Executive Committee, shall be final and the complaint

closed. This shall be conveyed to the complainant by the EA Secretariat. 2.5 Timing of Complaints Process 2.5.1 If the complainant is unable and/or unwilling to submit all additional information as

requested within 30 days of the date of delivery of the letter (or email) of EA Secretariat to the complainant requesting amendments to enable the EA Secretariat to authenticate the complaint, and acceptable justification for extension of this period was not received from complainant, the Executive Secretary or her/his substitute shall close the complaint and inform the complainant of the closure.

2.5.2 The EA Secretariat shall inform the relevant EA Member(s) of an authenticated

complaint within 10 working days. 2.5.3 The designated TFG (if established) shall complete the investigation and provide a

written report to the EA Secretariat as soon as possible.

Note: It is expected that authenticated complaints not requiring an on-site investigation would normally be resolved within 3 months.

2.5.4 The EA Secretariat shall forward the final outcome of a complaint investigation to the

complainant within 10 working days of closure of the complaint.



3 APPEALS 3.1 Responsibility for Appeals 3.1.1 Considering the nature of an appeal, appeals are handled directly by the EA Chair in

consultation with the EA Executive Committee and in conjunction with an Appeal Review Panel. The EA Chair may delegate his/her responsibility to the EA Vice-Chair.

3.1.2 Appeals shall be considered to ascertain that, taking account the particular

circumstances of the case, EA’s decisions were ethically, appropriately and competently made in line with EA’s policies and processes. Information regarding the actions, responses and behaviours of both the appellant and EA shall be considered during the investigation.

3.1.3 If EA is approached about an accreditation decision of an EA Member, whether by a

third party, an accredited body or another EA Member, the role of EA in relation to the issue is only an indirect one of ensuring that the EA Member concerned has itself first had the opportunity to resolve the particular matter through its own appeal handling procedure and through direct discussions with the appellant. EA shall handle this through the Complaints Handling process described above.

Note : It is expected that appeals to accreditation bodies not requiring an on-site investigation would normally be resolved within 2 months.

3.1.4 All decisions stand throughout the investigation of an appeal. 3.1.5 If for any reason an appeal is withdrawn, a future appeal on the same grounds will not

be considered. 3.1.6 Regardless of the outcome of any appeal the appellant body and EA will each meet its

own costs. 3.2 Appeal Process 3.2.1 All appeals must be addressed in writing to the EA Secretariat. The EA Secretariat shall

within 10 working days acknowledge receipt of the appeal to the appellant (in writing). 3.2.2 Upon receipt of an appeal, the EA Secretariat shall inform the EA Chair or his/her

delegate and on his/her behalf the Chair of the EAAB and the EA Executive Committee. 3.2.3 The EA Secretariat shall provide the appellant with details of this EA Complaints and

Appeals Procedure, ensure that the substance of the appeal is clearly understood and documented, and that all relevant claims or statements made by the appellant or other interested parties can be properly authenticated in writing when relevant and appropriate. Such authentication and provision of information is usually essential before the appeal can be considered as a formal appeal and any investigation initiated. The EA Secretariat may require additional documents and information.



Note: Authentication means that all information can be verified as accurate and correct through an independent source, other than the appellant. It is the responsibility of the appellant to submit information that can be authenticated.

3.2.4 The EA Chair or his/her delegate can at his/her discretion authenticate any or all

information, as he/she deems appropriate, at any time during the investigation process. If additional information is needed during this investigation, it is the responsibility of the designated investigator(s) to obtain such information. It is the responsibility of all involved parties to provide information that can be authenticated.

3.2.5 EA first considers appeals internally (Stage 1). Any unresolved appeals are referred to

an Appeal Review Panel (ARP) (Stage 2) on request by the appellant or EA. 3.2.6 At any time during the process, the appellant may withdraw the appeal. Stage 1 3.2.7 In case of an appeal against an EA-MAC decision, the EA-MAC is first given the

opportunity to reconsider the decision. 3.2.8 In other cases, the EA Chair or his/her delegate shall appoint an Investigating Officer

from the members of the EA Executive Committee to ascertain that, taking account the particular circumstances of the case, EA’s decisions were appropriately and competently made in line with EA’s policies and processes. The findings of the Investigating Officer shall be reported in writing to the EA Chair or his/her delegate and EA Executive Committee.

3.2.9 The Investigating Officer shall not have been directly involved in the decision-making

process for the appellant organisation. 3.2.10 The EA Executive Committee will consider the findings of the Investigating Officer and

any other relevant information in deciding the outcome of the investigation. The EA Chair or his/her delegate shall inform through the EA Secretariat the appellant of the outcome of the internal investigation of the appeal and seek confirmation whether the appellant accepts this outcome or wishes to proceed to the second Stage.

Stage 2 3.2.11 The EA Chair or his/her delegate, in consultation with the EA Executive Committee and

Chair of the EAAB, shall appoint an Appeal Review Panel (ARP) to consider the appeal.

3.2.12 The appellant may object once to the membership of the ARP, after which the EA Chair or his/her delegate will select a replacement member(s).

3.2.13 EA will, on request from the ARP, make available the findings of the internal

investigation. 3.2.14 The Convenor of the ARP may convene a hearing or may conduct the review by email

as appropriate. In either case, the appellant shall be given the opportunity to present its case with any supporting documentary evidence. Supporting documentation must be provided at least 5 working days ahead of the hearing/review and shall also be made



available to EA. EA shall also be invited to make comments concerning the appeal with any relevant documentation, which shall also be made available to the appellant.

3.2.15 The ARP may call on witnesses or on experts to provide advice. 3.2.16 After considering the evidence, the ARP shall arrive at a recommendation with

supporting reasons. 3.2.17 The Convenor of the ARP shall inform the EA Executive Committee of its findings and

recommendations, through the EA Secretariat. 3.2.18 Following consideration of the findings and recommendations of the ARP by the EA

Executive Committee, the EA Chair or his/her delegate shall inform through the EA Secretariat the appellant of its decision. As EA-MAC decisions on MLA signatory status can only be changed by the EA-MAC, if applicable, the EA Executive Committee will ask the EA-MAC to reconsider its earlier decision. However, recommendations may be made to the EA-MAC with regards to reinforcing its competence and consistency of operation. A copy of the conclusions and recommendations of the ARP will be provided to the appellant.

3.3 Timing of Appeal Process 3.3.1 Appeals must be made in writing, within one month of the date of receipt of the related

adverse decision. 3.3.2 The EA Secretariat shall acknowledge appeals within 10 working days of receipt. 3.3.3 The outcome of Stage 1 of an appeal shall be communicated to the appellant within 1

month of acknowledgement of appeal. 3.3.4 The appellant must make a request for an ARP to be convened within 2 months of the

date of notification of the outcome of Stage 1 after which the appeal will be considered to be closed.

3.3.5 Any supporting documentation from the appellant must be submitted to the Convenor of

the ARP at least 5 working days ahead of any hearing.

4 EA COMPLAINTS

Complaints may be lodged by EA against an EA member if reliable, substantiate information creates a reasonable doubt about fulfilment of membership obligations by an EA Member or if it is demonstrated that an EA Member, by acts or omission, undermines credibility of EA and the European accreditation infrastructure.

4.1 Process 4.1.1 An EA complaint to be lodged against one of its Members shall formally be approved by

the EA Executive Committee. The Secretariat shall inform the EA Member about the complaint lodged by EA.



4.1.2 EA complaints are handled directly by the EA Chair in consultation with the EA

Executive Committee. The EA Chair may delegate his/her responsibility to the EA Vice-Chair.

4.1.3 The EA Executive Committee shall ensure that the substance of the complaint is clearly

understood and documented. 4.1.4 The EA Secretariat shall formally bring the issue of the complaint and any relevant facts

to the notice of the EA Member and ask the member to provide within 30 days, a full report as to how the subject of the complaint has been dealt with and the outcome.

4.1.5 The report shall be reviewed by the Executive Committee. 4.1.6 If it is found that it has not been possible to resolve the matter satisfactorily, the EA

Chair or his/her delegate shall assign an ad-hoc Task Force Group (TFG), comprising one or more investigators, to investigate the complaint. The TFG membership shall be acceptable for both sides. One of the investigators shall be nominated as the TFG convenor. If possible, at least one of the investigators should understand EA Member’s mother language (if needed).

4.1.7 The TFG shall proceed with a thorough investigation of the complaint, not limited only to

procedural aspects, and seek a resolution of the issue(s) involved. It is the responsibility of the TFG to ensure that the investigation is performed in a timely manner. Direct communication between the TFG, the Executive Committee, represented by the EA Chair, the involved EA Member and any other relevant body shall be made, whenever possible and needed during the investigation process. It is the responsibility of all involved parties to provide information that can be authenticated.

4.1.8 The designated TFG shall keep the EA Secretariat informed of progress being made in

dealing with the complaint. 4.1.9 After the issue has been investigated, the TFG Convenor shall submit a detailed written

report on the complaint, including a statement indicating whether the complaint has been found to have been substantiated or not, and recommendations on resolving the complaint, to the EA Chair or his/her delegate and the EA Secretariat, who will distribute it to the EA Executive Committee.

4.1.10 The EA Chair or his/her delegate, in consultation with the EA Executive Committee,

shall decide if the report/recommendations are likely to be satisfactory in terms of resolving the matter. The EA Chair or his/her delegate, in consultation with the EA Executive Committee, may request any amendment to the report or recommendation considered necessary and when satisfied, shall forward a summary of the final outcome to the EA Secretariat. The final outcome shall include a recommendation on any action to be taken in relation to the complaint. If grounds have been found for the EA Chair or his/her delegate to consider taking remedial action, the report shall recommend the specific action to be taken and a time limit for its implementation. If the final outcome includes a request to the EA -MAC to take any action in relation to the EA Member, the EA- MAC shall report to the EA Executive Committee within 2 months on the action taken and the response from the EA Member.



4.1.11 The EA Secretariat shall notify the EA Member of the final outcome of the complaint investigation, consistent with valid confidentiality requirements, through the provision of a summary copy of the conclusions and recommendations of the report.

4.1.12 The EA Secretariat shall maintain a detailed and complete record of the handling and

outcome of every complaint. The Secretariat shall submit a summary of all complaints handled since the previous meetings to each meeting of the EA Executive Committee and of the EAAB.

4.1.13 The EA Chair or his/her delegate shall report on complaints at each meeting of the EA

General Assembly. 4.2 Further petition by the EA member 4.2.1 The EA Member may submit a petition against the outcome of a complaint investigation

to the EA Secretariat, within 30 days of receiving the final outcome on the complaint. 4.2.2 A petition will be accepted by the EA Chair or his/her delegate, if the EA member may

provide new information or may have good reasons to challenge that the investigation was not performed in compliance with the EA complaints procedure.

4.2.3 A petition to a final outcome shall be heard by the EA Chair or his/her delegate and

shall be conducted to ensure that the investigation was performed in full conformance with this complaints procedure.

4.2.4 The EA Chair or his/her delegate may request the TFG or the relevant EA

Committee/Council Chair to reopen or reconsider any aspect of the investigation, with a maximum period for resolution of 30 days.

4.2.5 The outcome of the petition will be presented to the EA General Assembly for final

decision. 4.2.6 The final decision made by the General Assembly shall be conveyed to the EA Member

by the EA Secretariat. 4.3 Timing of Complaints Process 4.3.1 The EA Secretariat shall inform the relevant EA Member(s) of a complaint lodged by EA

within 10 working days. 4.3.2 The designated TFG shall complete the investigation and provide a written report to the

EA Secretariat and the EA Chair or his/her delegate as soon as possible.

Note: It is expected that authenticated complaints not requiring an on-site investigation would normally be resolved within 3 months.

4.3.3 The EA Secretariat shall forward the final outcome of a complaint investigation to the

EA Member within 5 working days of receipt from the EA Chair or his/her delegate.



5 CONFIDENTIALITY AND CONFLICTS OF INTEREST 5.1 Any individuals nominated as members of a TFG or an ARP, or otherwise involved in

the complaints and appeals process, that have a real or perceived conflict of interest or confidentiality issue with the situation presented shall excuse themselves immediately from any discussions or potential receipt of information regarding the specific complaint/appeal. ARP members shall have no commercial or other interest in the appeal being considered and shall not have been personally involved in any matters relating to the appeal.

5.2 When an appeal or a complaint concerns an EA Member that provides a person with

responsibilities within this procedure, the EA Executive Committee shall nominate someone else from a different accreditation body to carry out those responsibilities.

5.3 All persons involved shall take necessary measures to preserve the confidentiality of

information obtained during the investigation. A complainant or appellant may request to remain anonymous to other parties involved in the investigation and the designated investigator shall take adequate steps to preserve confidentiality.

6 INFORMATION FOR PEER EVALUATORS

The EA Secretariat shall make available to the relevant EA Peer Evaluation Team Leader in advance of an evaluation, details and general conclusions of all complaints and appeals processed by EA in relation to an EA Member, including any communication from the EA Member in response to the outcome of the complaints and appeals.

Documents

Supplement 3 to EA-1/17 Rules of Procedures EA Procedure ... · 1.1.3 This procedure shall be publicly available on the EA website and provided on request to enquirers by the EA Secretariat